What is a root cause analysis?

A root cause analysis (RCA) helps uncover the root cause of a problem so you can identify an appropriate solution. The theory behind RCA is that it’s much more effective to systematically prevent and correct underlying issues than to struggle to treat symptoms as they arise. RCA takes you beyond the basics of cause and effect by showing you where a system or process failed or caused an issue in the first place. You can perform a root cause analysis using various principles, methodologies, and problem-analysis techniques, like barrier or risk tree analysis, to identify the root cause of a problem, trend, or event.

RCA is beneficial for maintenance issues, incident management, productivity issues, and risk analysis. A root cause analysis example is when the manufacturing industry uses RCA to prevent environmental releases, or the telecommunications industry uses it to detect the root cause of critical IT problems.

How a root cause analysis works

An RCA helps uncover the root cause of a problem, find an efficient way to fix the problem, and create a solution that prevents the problem from reoccurring. This method relies on determining the actual cause of a process fault or impediment so you can fix it and continuously improve. Because recurring problems are often a symptom of deeper issues, quick fixes are nothing but a Band-Aid, solving problems only at the surface, ignoring further issues, and wasting resources you could be using to tackle the underlying cause. A significant portion of root cause analysis focuses on asking questions—and there’s no better question than “Why?”.

The 5 Whys technique

The 5 Whys technique, or 5Y, is a simple but powerful tool for quickly getting to the root of any problem, using the issue’s outward symptoms to reveal its underlying cause. Developed in the 1930s by the Japanese inventor, industrialist, and Toyota Founder Sakichi Toyoda, the 5 Whys technique became inherently popular in the 1970s and is a crucial piece of root cause analysis today. The method is straightforward: when a problem occurs, drill down to the root cause by asking “Why?” five times. When you have an apparent countermeasure, follow it through to prevent the problem from reoccurring.

5Y is beneficial for quality improvement, troubleshooting, and problem-solving and is most effective when you include employees with hands-on experience with the problem or process in question. Here’s how to use the 5 Whys.

• Form an experienced team with in-depth knowledge about the problem or process you’re trying to fix.
• Observe the problem in action (when possible). Write a clear problem statement that everyone can see and agree on. For example, Team XYZ isn’t meeting its deadlines. Leave space around your statement to add your “Why?” answers.
• Ask your first “Why?” — “Why isn’t Team XYZ meeting its deadlines?” Search for factual answers backed by evidence, not guesses. Your team may come up with one apparent reason or several plausible ones. Write the answers beside your problem statement.
• For every answer you just noted, ask “Why?” four more times in succession. Frame each question according to the response you just received.
• The 5 Whys is a common practice; sometimes, your team will reach an answer before or after asking five questions. When asking “Why?” stops producing useful answers, you’ve reached the root cause of your problem.
• When you’ve identified at least one root cause, discuss and agree on the countermeasures that will prevent the issue from reoccurring.
• Lastly, determine how effective your countermeasures are at eliminating or minimizing your initial problem. Sometimes, you’ll need to amend or replace them altogether. If this is the case, repeat the 5 Whys process to ensure you’ve identified the actual root cause.

Benefits of a root cause analysis

An RCA results in more than just finding answers to a problem. A root cause analysis also helps you:

• respond quickly by stepping in and fixing the problem before it causes widespread damage;
• improve your decision-making process;
• prevent problems from reoccurring by developing a team-wide mindset that looks for issues;
• improve communication. Because RCA outlines why a problem happened, you can explain the necessary steps to rectify the issue. The more details you have, the better you’ll be at communicating the why and working with your team to find informed solutions.

How to perform a root cause analysis

Use the following root cause analysis template to conduct an effective RCA.

Identify the problem

Define the problem and how it affects your organization, including who it affects. After identifying the problem, you can determine how it happened and work on the corrective action.

Gather data

As you gather data about the problem, analyze it to identify trends or patterns. Learn how long the problem has been happening, who discovered it, which procedures or processes were in place, and who was involved. Your data can stem from various sources, including financial reports, customer surveys, safety reports, and quality control records. Get as much input as you can from employees with direct knowledge of the problem so you can better understand what happened.

Determine possible causes

This is where you ask your 5 Why questions. For example, you receive a customer complaint. Asking the client why they’re unhappy can help you identify possible reasons for the problem so you can find and zero in on the root cause. Continue asking “Why?” to generate additional causes until you’ve exhausted all possibilities.

Find the root cause

Find the root cause by investigating all the causes of each problem. Do this by examining evidence and data, interviewing employees, clients, or stakeholders, and conducting experiments. The more relevant people you involve during this step, the better you’ll understand the problem. Creating a cause-and-effect (fishbone or Ishikawa) diagram can help you visually represent the relationship between the issue and its potential causes. A fishbone diagram maps out cause and effect to help you determine the reasons for defects, failures, imperfections, and variations. It encourages brainstorming by using branched paths, resembling a fish skeleton, leading to potential causes and showing how solutions would affect the scenario.

Develop and implement solutions

After identifying the root cause of your problem, develop and implement possible solutions to address it. Again, involving all relevant parties is crucial so they can help you create effective solutions. For example, if your root cause points to a lack of employee training, your resolution is to develop and implement a thorough training program.

Evaluate results

Ensure your solution is effective by testing and evaluating the results. Referring to the training example, you implemented a training program to address the lack of employee training. Assess the program’s results to ensure you achieved the desired effect. Do this by gathering data and evaluating the results of your solution. If the answer is ineffective, return to the previous step to develop and implement new ones.

Core principles of a root cause analysis

There are a few core principles that will effectively guide your root cause analysis, boost the quality of your results, and earn trust and buy-in from clients, customers, employees, and stakeholders.

• Focus on why and how something happened rather than who was responsible.
• Gain enough information to create corrective measures and prevent the problem from reoccurring.
• Only treat symptoms for short-term relief; your focus should be on correcting and solving the root cause.
• There can, and often will be, multiple root causes.
• Use concrete cause-and-effect evidence to back up any root cause theories.
• Consider how to prevent root causes in the future.

These principles illustrate that when determining a problem’s root cause, it’s crucial to use a comprehensive and holistic approach. For a good analysis to be actionable, you should provide enough evidence, context, and information to make an appropriate decision or action. Because the root cause typically creates non-conformance, removing the problem eliminates any worry of non-conformance.